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Preparing For Reg BI To Maximize The Long-Term Benefit

Firms that streamline workflow processes and embrace new technologies can turn an operational challenge into an opportunity.

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Tim Slavin LinkedIn Icon
Sr. Vice President, Retirement
Broadridge

Broker-dealers have been subject to a lot of fee pressure both from the market and regulatory changes. The new Security and Exchange Commission’s Regulation Best Interest (Reg BI) requirements have the entire industry abuzz and are another advisor requirement that must be met. Advisors and their firms have until June 30, 2020, to comply with the Reg BI rule, which requires them to put their clients’ interests ahead of their own and mitigate any potential conflicts of interest.

The administrative requirements and technology resources needed to address Reg BI are compelling, especially with a fast approaching deadline.

In this article for Financial Advisor, Broadridge's Tim Slavin uncovers insights and opportunities to ensure Reg BI Readiness for Form CRS and Standard of Care requirements.

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